Account Opening Form (Non-Individual) - India Infoline · Login ID: 5 If Client is already registered with KRA please fll in below details: NDML CVL DOTEX Others (Please Specify)

India Infoline Limited

Account Opening Form (Non-Individual)Broking & Depository Services

Login ID : LEAD ID:

Depository Service : CDSL NSDL (Select any one) Wire ID:

CDSL-Client ID 1 2 0 4 4 7 0 0 NSDL-Client ID I N 3 0 2 2 6 9

NAME CODE

Marketing Executive (E1)

Relationship Manager (E2)

Branch/ FAN

Online software for trading. Yes No (If No) TT Manager ID:

PLEASE READ THIS DOCUMENT CAREFULLY BEFORE AGREEING TO ITS CONTENTS

AND ENSURE ALL THE DETAILS PROVIDED ARE CORRECT.

Process Employee Code & Name Process Employee Code & Name

Pre-Audit Maker Date Entry Maker

Pre-Audit Checker Date Entry Checker

Remiser (if any)

Sr. No. ECINNV01615For Account Opening Team Purpose

1 Version: 1.0/June/2015

INDEX OF DOCUMENTS

Sr. No. Brief Signifcance of the Document Page Nos.

SECTION-A - MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI AND EXCHANGES

6-8

Name of the Document

1. Account Opening Form Part I - KYC form - Document captures the basic information about theconstituent and an instruction / checklist.

9-12Part II - Document captures the additional information about theconstituent relevant to trading account and an instruction/check list.

3.

4.

5. Risk Disclosure Document (RDD)

6.

7.

Guidance note

Policies and Procedures

Incl

uded

in C

lient

Cop

y

Document stating the Rights & Obligations of stock broker / tradingmember, sub-broker and client for trading on exchanges (includingadditional rights & obligations in case of internet / wireless technologybased trading).

Rights and Obligations of Beneficial Owner and Depository Participant asprescribed by SEBI and Depositories.

Rights & Obligations of Stock Brokers,Sub-Broker & Clients

Rights & Obligations of Beneficial Owner& Dipository Participant

Documentdetailing risks associatedwithdealing in thesecurities market.

Document detailing do’s and don’ts for trading on exchange, for theeducation of the investors.

Documents describing significant policies and procedures of IIFL relatedto TradingAccount of the client.

2.14

Tariff sheet Document detailing the rate/amount of brokerage and other chargeslevied on the client for trading and demat account on the stockexchange(s)/ depository.

Client Declaration 13

SECTION-B - VOLUNTARY DOCUMENTS - AS PROVIDED BY STOCK BROKER/ DEPOSITORY PARTICIPANT

1. Terms & Conditions cum Registration formreceiving SMS Alerts from Depositoryfor

Terms and Conditions-cum-registration / Modification form for receivingSMSAlerts from CDSL.

15-18

19

5.

6.

Power of Attorney

NOC FROM Co-Parceners (HUF Account)

Voluntary and Limited purpose POA in favour of Broker for operationalrequirements as perclientauthorization/instruction.aPOAin favourof IIFL.

Prescribed by regulator. required if HUF is granting a POAin favour of IIFL

20-237. Authorisation Letter

2. Terms & Conditions For Distribution ofSecurities

Terms & Conditions for Distribution of Securities

3.

4.

Mutual Fund Trading Services

SIP in Mutul fund and Security

Terms and Conditions for availing Mutual Fund Service System (MFSS)facility and BSE StAR MUTUAL FUND offered by NSE and BSErespectively

Terms and conditions for availing systematic investment plan in Mutul fundand Securities

A. Availing Mutual Fund Service System (MFSS) facility/BSE StARMUTUAL FUND (hereinafter jointly referred to “Mutual FundTransactionFacilities”) B. Authorization for Systematic Investment in Mutual Fund/Securities C. RunningAccountAuthorisation D.Authorisation for Receiptof Contract Notes and Other documents in Digital Mode E. Authorisationfor Online Trading Software Password

2

INSTRUCTIONS/ CHECK LIST FOR FILLING KYC FORM

Login ID:

A. IMPORTANT POINTS:

B. Proof of Identity (POI): - List of documents admissible as Proof of Identity:

C. Proof of Address (POA): - List of documents admissible as Proof of Address:

D. Exemptions/clarifications to PAN -

1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors andpersons authorized to deal in securities on behalf of company/firm/others.

2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case theoriginal of any document is not produced for verification, then the copies should be properly attested by entities authorized for attestingthe documents, as per the below mentioned list.

3. If any proof of identity or address is in a foreign language, then translation into English is required.

4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.

5. If correspondence & permanent address are different, then proofs for both have to be submitted.

6. Sole proprietor must make the application in his individual name & capacity.

7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Cardand overseas address proof is mandatory.

8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given.

9. In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.

10. For opening an account with Depository participant or Mutual Fund, for a minor, photocopy of the School Leaving Certificate/Mark sheetissued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided.

11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in aforeign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, seniorexecutives of state owned corporations, important political party officials, etc.

1. Unique Identification Number (UID) (Aadhaar)/ Passport/ Voter ID card/ Driving license.

2. PAN card with photograph.

3. Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments,Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Collegesaffiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debitcards issued by Banks.

(*Documents having an expiry date should be validon the date of submission.)

1. Passport/ Voters Identity Card/ Ration Card/ Registered Lease or SaleAgreement of Residence/ Driving License/ Flat Maintenance bill/Insurance Copy.

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old.

3. BankAccount Statement/Passbook -- Not more than 3 months old.

4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.

5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks / Scheduled Co-Operative Bank /Multinational Foreign Banks / Gazetted Officer / Notary public / Elected representatives to the Legislative Assembly / Parliament /Documents issued by any Govt. or StatutoryAuthority.

6. Identity card / document with address, issued by any of the following: Central/State Government and its Departments, Statutory /Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated toUniversities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.

7. For FII / sub account, Power of Attorney given by FII / sub-account to the Custodians (which are duly notarized and / or apostiled orconsularised) that gives the registered address should be taken.

8. The proof of address in the name of the spouse may be accepted.

(*Sufficient documentary evidence in support of such claims to be collected.)

1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g.Official liquidator, Court receiver etc.

2. Investors residing in the state of Sikkim.

3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

Version: 1.0/June/2015

1. Additional documents in case of trading in derivatives segments - illustrative list:

Copy of ITR Acknowledgement Copy of Annual Accounts

In case of salary income - Salary Slip, Net worth certifcate

Copy of Form 16

Copy of demat account holding statement. Bank account statement for last 6 months

Any other relevant documents substantiating Self declaration with relevant supporting documents.

ownership of assets.

INSTRUCTIONS/ CHECK LIST FOR ACCOUNT OPENING FORM - TRADING ACCOUNT

Login ID:

4. SIP of Mutual Funds upto Rs 50,000/- p.a.

5. In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral DevelopmentFinancial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public FinancialInstitution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PANcard and provide duly certified copies of such verified PAN details to the intermediary.

1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/ Co-operative Bank or Multinational Foreign Banks (Name,Designation & Seal should be affixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, CourtMagistrate, Judge, Indian Embassy/ Consulate General in the country where the client resides are permitted to attest the documents.

E. List of people authorized to attest the documents:

*In respect of other clients, documents as per risk management policy of the stock broker need to be provided by the client from time to time.

2. Copy of cancelled cheque leaf/ pass book/ bank statement specifying name of the constituent, MICR Code or/and IFSC Code of thebank should be submitted.

3. Demat master or recent holding statement issued by DP bearing name of the client.

4. For individuals:

a. Stock broker has an option of doing ‘in-person’ verification through web camera at the branch office of the stock broker/sub-broker’soffice.

b. In case of non-resident clients, employees at the stock broker’s local office, overseas can do in-person’ verification. Further,considering the infeasibility of carrying out ‘In-person’ verification of the non-resident clients by the stock broker’s staff, attestationof KYC documents by Notary Public, Court, Magistrate, Judge, Local Banker, Indian Embassy/ Consulate General in the countrywhere the client resides may be permitted.

ADDITIONAL INSTRUCTIONS

NOTES

1. In case ofAdditional Signature, Separate annexures should be attached to the application Form.

2. All Communication shall be sent at the corresponding address/Mobile/Email Id of sole holder/First holder only.

3. Thumb Impression and signatures other than English or hindi or any of the other language not contained in the 8th Schedule of theconstitution of India must be attested by a magistrate or a notary public or a Special Executive Magistrate.

4. For receiving statement of account in electronic Form:

1. Client Must insure the confidentially of the password of the email account.

2. Client must promptly inform the participant if the email address has changed.

3. Client may opt to terminate this facility by giving 10 days prior notice. Similarly, India Infoline LImited may also terminate this facility bygiving 10 days prior notice.

5. Strike of Which ever is not applicable.

Please note that the mode of payment should be only by way of No cash receipts payments willbe entertained for any transactions made by the client. IIFLwill not be responsible for any kind of claims raised by the clients regarding payment made in cash. Mobile number is compulsory for opening ofDemat/ Trading account with IIFL.

account payee crossed cheques/Demand draft in favour of “India Infoline Ltd - (Client’s Login id)”.

In case of change in mobile number any time after opening of this account, for postpaid connection it is mandatory to submit the photocopy of the latest/ last 2 monthsmobilebill and forprepaidconnectionclientmustpersonally visit thebranch/FAN’s alongwith their IDproof (eg.PANCard/DrivingLicence/Passport/ElectionVoter ID)andget thesameverified.


ADDITIONAL INSTRUCTIONS

1 cannot be opened in joint names.

2 All on the form should be countersigned with full signature. White ink is not allowed either in form or authorization.

3 Incase of an employee of another Member Broker, NOC from employer is required.

TradingA/c

corrections

TYPES OF ENTITY DOCUMENTARY REQUIREMENTS

Corporate

Partnership frm

Trust

HUF

Unincorporated

association or a

body of individuals

Banks/Institutional

Foreign Institutional

Investors (FII)

Army/ Government

Bodies

Registered Society

IN CASE OF NON-INDIVIDUALS, ADDITIONAL DOCUMENTS TO BE OBTAINED FROM

NON-INDIVIDUALS, OVER & ABOVE THE POI & POA, AS MENTIONED BELOW:

Login ID:

• Copy of the balance sheets for the last 2 financial years (to be submitted every year).

• Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in thecompany in terms of SEBI takeover Regulations, duly certified by the company secretary/Whole timedirector/MD (to be submitted every year).

• Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to dayoperations.

• Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly.

• POI and POA of the natural person as per declaration submitted for identification of beneficial owner. (Notapplicable in case client or controlling owner is a listed company or is a majority owned subsidiary of listedcompany)

• Copies of the Memorandum andArticles ofAssociation and certificate of incorporation.

• Copy of the Board Resolution for investment in securities market.

• Authorised signatories list with specimen signatures.


• Certificate of registration (for registered partnership firms only).

• Copy of partnership deed. •Authorised signatories list with specimen signatures.

• Photograph, POI, POA, PAN of Partners.

• POI and POAof the natural person as per declaration submitted for identification of beneficial owner.


• Certificate of registration (for registered trust only). • Copy of Trust deed.

• List of trustees certified by managing trustees/CA.


• PAN of HUF. • Deed of declaration of HUF/ List of coparceners.

• Bank pass-book/bank statement in the name of HUF. • Photograph, POI, POA, PAN of Karta.

• Proof of Existence/Constitution document.

• Resolution of the managing body & Power ofAttorney granted to transact business on its behalf.

• Authorized signatories list with specimen signatures.


• Copy of the constitution/registration or annual report/balance sheet for the last 2 Investors financial years.


• Copy of SEBI registration certificate.


• Self-certification on letterhead.


• Copy of Registration Certificate under Societies RegistrationAct.

• List of Managing Committee members.

• Committee resolution for persons authorised to act as authorised signatories with specimen signatures.

• True copy of Society Rules and Bye Laws certified by the Chairman/Secretary.


Login ID:

5

If Client is already registered with KRA please fll in below details:

NDML CVL DOTEX Others (Please Specify)

(Please furnish photocopy of KRA Registration letter)

KRA Registration No.:

Date of Registration:

4. KRA REGISTRATION DETAILS (FOR OFFICE PURPOSE ONLY)

D D M M Y Y Y Y

CODE NAME

Introducer (E1-Sourcing Sales Employee)

Group Code (E2-Servicing Sales Employee)

Remiser (if any)

2. SOURCING & SERVICE RM/ SALES EXECUTIVE/ FAN NAME & CODE

Branch / FAN

1. Complete Documentation Received Yes No If No, give details

2. “Verifed with Original” stamp affxed on proofs Yes No

3. SUBMISSION CHECKLIST

3. “PAN verifed” stamp with Employee name & signature affxed on proof Yes No

4. Margin Money collected Yes No Amount in Rs. Rs. (in words)

Bank NameChq./ CMS No: Chq./ CMS. Date: D D M M Y Y Y Y

I/We undertake that we have made the client aware of ‘Policy and Procedures’, tariff sheet and all the non-mandatory documents. I/We havealso made the client aware of ‘Rights and Obligations’document (s), RDD and Guidance Note.

I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the ‘Policy and Procedures’, tariff sheet and allthe non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the ‘Rights and Obligations’ andRDD would be made available on my/our website, if any, for the information of the clients.

I have read and understood that if any of the requirements is not fulfilled then a penalty would be charged to me or any other action may be takenas deemed fit by the Management for non compliance from my end.

Documents verifed with Originals Client Interviewed By In-Person Verifcation done by

Name of the Employee

Employee Code

Designation of the employee

Date

Signature

FOR OFFICE PURPOSE ONLY

1. CLIENT RISK CATEGORISATION UNDER PMLA: LOW RISK MEDIUM RISK HIGH RISK

Branch Address :

Pincode :

Name of the Employee of IIFL : Employee Code :

Date D D M M Y Y Y YEmployee Signature & Stamp :1

3


Application No. :

PART-I - KNOW YOUR CLIENT APPLICATION FORM (KYC) - FOR NON-INDIVIDUAL

DECLARATION NAME & SIGNATURE(S) OF AUTHORISED PERSON(S)

Date:Place:

1.

2.

Name, PAN, DIN/UID, residential address and photographs of Promoters/Partners/Karta/Trustees/whole time directors (Please use the Annexure to fill in the details)

(Please use the Annexure to fill in the details)

(Please use the Annexure to fill in the details)

a) DIN of whole time directors:

b) Aadhaar number of Promoters/Partners/Karta:

C. OTHER DETAILS (Please see guidelines)

FOR OFFICE USE ONLY


Code: 1100044700

(Originals verified) Self certified Documents copies received.

(Attested) True copies of Documents received.

IPV Done on

Staff Name

Designation

Signature

Date

Seal/Stamp of IIFL

Staff Name

Designation

Signature

Date

A. IDENTITY DETAILS (Please see guidelines)

Please fll this form in ENGLISH & in BLOCK LETTERS with BLACK ink

119

B. ADDRESS DETAILS (Please see guidelines)

1. Name of Applicant (Please write complete name as per Certifcate of Incorporation/ Registration; leaving one box blank between 2 words. Please do not abbreviate the Name).

2. Date of Incorporation Place of incorporation

3. Registration No. (e.g. CIN) Date of Commencement of Business

4. STATUS Please tick (9) any one) Private Limited Company Public Limited Company Body Corporate Partnership

Trust/ Charities/ NGO FI FII HUF AOP Bank Government Body Non-Government Orginazation

Defense Establishment BOI Society LLP Other (please specify)

5. PAN (MANDATORY) (Please enclose a duly attested copy of your PAN card)

Please affx

the recent passport

size Photograph and

sign across it

119

D D M M Y Y Y Y

D D M M Y Y Y Y

1. Address for Correspondence :

City/ Town/ Village: PIN Code:

State: Country:

2. Contact Details: Tel. (Off) : Tel. (Res):

Mobile No.: Fax No.:

E-mail ID:

3. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (� ) against the document attached.

4. Registered Address: (If different from above)

City/ Town/ Village: PIN Code:

State: Country:

5. Proof of address to be provided by Applicant. Please submit ANY ONE of the following valid documents & tick (� ) against the document attached.

(I S D) (S T D)(I S D) (S T D)

(I S D) (S T D) (I S D) (S T D)

*LatestTelephoneBill (onlyLandLine) *Latest Electricity Bill *Latest Bank A/c Statement/Passbook RegisteredLease/SaleAgreementofOffcePremises

Any other proof of address document (as listed overleaf) *Not more than 3 Months old.

Document No. : Date of Issue: Place of Issue :

Issuing Authority : Validity/Expiry date of proof of address submitted D D M M Y Y Y Y

*LatestTelephoneBill (onlyLandLine) *Latest Electricity Bill *Latest Bank A/c Statement/Passbook RegisteredLease/SaleAgreementofOffcePremises

Any other proof of address document (as listed overleaf) *Not more than 3 Months old.

Document No. : Date of Issue: Place of Issue :

Issuing Authority : Validity/Expiry date of proof of address submitted D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

D D M M Y Y Y Y

I/We hereby declare that the details furnished above are true and correct to the best of my/ourknowledge and belief and I/we undertake to inform you of any changes therein, immediately. Incase any of the above information is found to be false or untrue or misleading ormisrepresenting, I am/we are aware that I/we may be held liable for it.

D D M M Y Y Y Y


DECLARATION

Signature of Sole/ First Holder Date D D M M Y Y Y Y

D D M M Y Y Y Y

219

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately.In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I may be held liable for it.

FOR OFFICE USE ONLY


Code: 1100044700

(Originals verifed) Self certifed Documents copies received.

(Attested) True copies of Documents received.

IPV Done on

Staff NameDesignationSignatureDate

Seal/Stamp of IIFLStaff NameDesignationSignatureDate


1) Gross Annual Income Details: (Please specify)a) Income Range per Annum: Below Rs.1,00,000 Rs.1,00,001 to Rs.5,00,000

Rs.5,00,001 to Rs.10,00,000 Rs.10,00,001 to Rs.25,00,000 More than Rs.25,00,001 OR

b) Networth Rs. as on (Networth should not be older than one year)

2) OCCUPATION DETAILS: (Please tick any one and give brief details):

Service: Private Sector Public Sector Govt. Service Business Professional Agriculturist Retired

Housewife Student Others (pls specify)

Nature of Business3) Please tick, if applicable: Politically Exposed Person (PEP) Related to a Politically Exposed Person (PEP).4) Any other information:

C. OTHER DETAILS

D D M M Y Y Y Y

KNOW YOUR CLIENT (KYC) APPLICATION FORM - GUARDIAN

(IN CASE PARTNER IS MINOR - ONLY FOR DEMAT ACCOUNT)

Please fll this form in ENGLISH and in BLOCK LETTERS.

A. IDENTITY DETAILS

B. ADDRESS DETAILS

First

First

Middle

Middle

Last

Last

1. Name

2. Father/Spouse Name

3. a. Gender: Male Female b. Marital Status: Single Married c. Date of Birth

4. a. Nationality:

b. Status: Resident Individual Non-resident Foreign National Others (Please specify)

5. a. PAN

b. Unique Identifcation Number (UID) / AADHAAR, if any

6. Specify the Proof of Identity submitted: PAN Card Any other (Please specify)7. Relationship of Guardian with Minor ______________________________________ Date of Birth of Minor

C O M P U L S O R Y

D D M M Y Y Y Y

D D M M Y Y Y Y

1. Address for Correspondence

City/ Town/ Village PIN Code

State Country

2. Contact Details: Tel. (Res)

Mobile Fax

E-mail ID

3. Specify the Proof of Address submitted for Correspondence Address

Document No.

4. Permanent Address (if different from above or overseas address, mandatory for Non-Resident Applicant):

City/ Town/ Village PIN Code

State Country

5. Specify the Proof of Address submitted for Permanent Address

Document No.

C O M P U L S O R Y

C O M P U L S O R Y

Tel. (Off)

Login ID:

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319


PART II - ACCOUNT OPENING FORM

India Infoline Limited, IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle Estate,Thane - 400 604 • (91-22) 3929 4000/ 4103 5000 • (91-22) 2580 6654Tel: Fax:

A. ADDITIONAL INFORMATION FOR TRADING ACCOUNT (Please fll this form in ENGLISH and in BLOCK LETTERS)

NSE BSE

Capital Market Segment

STOCK EXCHANGE(S) & SEGMENT ON WHICH YOU WISH TO TRADE:(Please sign in the relevant boxes where you wish to trade. The Segment not chosen should be struck off by you.)

1. TRADING PREFERENCE

Name ofthe Exchange

Name of theSegment

419

519

Futures & Options

Currency Derivatives

Debt

MFSS/BSE StAR

619

719

819

919

1019

1119

1219

1319

Login ID:

If in future, you want to trade on any new segment/ new exchange, seperate authorisation/ letter should be submitted to IIFL.

3. PAST ACTIONS

Particulars Name of Authority Month & Year of Action

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the applicant/constituent or itsPartners/promoters/whole time directors/authorized persons in charge of dealing in securities during the last 3 years:


2. PROOF OF FINANCIAL DETAILS (MANDATORY IN CASE OF DERIVATIVES/ CURRENCY)

Copy of ITR acknowledgement Copy of annual accounts Copy of Form 16 Networth certifcate

Salary slip Bank account statement for last 6 months Copy of demat account holding statement

Login ID:

Whether you wish to receive:

Number of years of Investment/Trading Experience:

Any other information:

Whether you wish to avail of the facility of internet trading/wireless technology (please specify) Yes No

If client is dealing through the sub-broker, provide the following details:

Sub-broker’s Name:

Registered offce address:

Tel. Fax

SEBI Registration number: Website:

Whether dealing with any other stock broker/sub-broker (if case dealing with multiple stock brokers/sub-brokers,provide details of all

Name of stock broker:

Name of Sub-Broker, if any:

Client Code: Exchange:

Details of disputes/dues pending from/to such stock broker/sub- broker:

5. DEALINGS THROUGH SUB-BROKERS AND OTHER STOCK BROKERS

Gross Annual IncomeDetails: (Please specify)

a) Income Range per Annum:

b) Networth Rs. as on (Networth should not be older than one year)

6. ADDITIONAL DETAILS

Occupation Details:(please tick any one and give brief details):

Service: Private Sector

Professional Agriculturist Housewife Student

Public Sector Govt. Service Business Retired

Others (pls specify) Nature of Business

Please tick, if applicable: Politically Exposed Person (PEP)

Physical contract note

Related to a Politically Exposed Person (PEP).

Electronic Contract Note (ECN)

Below Rs.1,00,000

Rs.10,00,001 to Rs.25,00,000 More than Rs.25,00,001 OR

Rs.1,00,001 to Rs.5,00,000 Rs.5,00,001 to Rs.10,00,000

D D M M Y Y Y Y

Specify your Email id,if applicable:

Experience

Clients signature

7. CONSENT FOR RECEIVING SMS/EMAIL ALERTS FROM CONCERNED STOCK EXCHANGES

1419

I/We wish to avail the SMS/Email alert facility offered by respective Exchanges showing details of my daily transactions executed throughIndia Infoline Ltd. (IIFL) on my e-mail id/ mobile no. provided in KYC Form.

(The above facility is provided by Exchanges and will be activated once the details are verified by Exchanges and confirmed by you)


Depository Name

DP ID BO Account Number:

Benefciary Name

4. DEPOSITORY ACCOUNT DETAILS

Depository ParticipantName and Address

Signature of the Introducer

If bank employee

If bank employee

B. COMMON DETAILS FOR BOTH TRADING & DEMAT ACCOUNT

1. BANK ACCOUNT DETAILS (FOR TRADING AND DEMAT ACCOUNT)

Bank Name

Branch Address

City Country

State PIN Code Tel.

Bank A/c No. MICR No.

A/c Type: Savings Current Others - in case of NRI/ NRE/ NRO (specify)

IFSC Code

Foreign Address

City Country

State PIN Code Tel.

Mobile Fax

Website

3. CLEARING MEMBERS DETAILS (TO BE FILLED BY CMS ONLY)

Name of the Stock Exchange

Name of the CC / CH

Trading ID Clearing Member ID

SEBI Regd. No. CM-BP ID (to be flled-up by participant)

4. INTRODUCER’S DETAILS

Status Of Introducer Sub-Broker Remisier ExistingAccount Holder Bank Official IIFL Employee

Any Other Person

Introducer’s Name:

Address

City Country

State PIN Code Tel.

Occupation PAN

DP ID Client ID Login ID

Designation Employee Code

Bank & Branch Name

Email Id

2. IN CASE OF FII’S/ OTHERS (AS MAY BE APPLICABLE)

(A) RBI Approval Ref No.: (B) RBI Approval Date:

SEBI Regd. No. (For FIIs): SEBI Registration Date:

Currency

For existing client onlyFor existing client only

C O M P U L S O R Y

For existing client only


Login ID:

CDSL DP ID: 12044700 OR NSDL DP ID: IN302269 Client ID (To be flled by IIFL) :

C. ADDITIONAL INFORMATION FOR DEMAT ACCOUNT (Please fll this form in ENGLISH and in BLOCK LETTERS)

1. DEPOSITORY SERVICE

5. STANDING INSTRUCTIONS (FOR DEMAT ACCOUNT)

a. I/We authorise you to receive credits automaticaly into my/our account Yes No

b. Account to be operated through Power of Attorney (PoA) Yes No

c. Account Statement Requirement: Daily Weekly Fortnightly Monthly (Default option is monthly)*

d. Do you wish to receive dividend/interest directly to your bank account given herein through ECS? Yes No

Sr. No. Holder Yes No

1 Sole/ First Holder/ Authorised Signatory

2 Second Holder/ Authorised Signatory

3 Third Holder/ Authorised Signatory

I/We request you to open a depository account in my/our name as per the following details: (Please fll all the details inCAPITAL LETTERS only)

I/We wish to open DepositoryAccount with (CDSL: 12044700 / NSDL: IN302269)

Date

2. DETAILS OF ACCOUNT HOLDER(S)

Authorised Signatory Authorised Signatory Authorised Signatory

Client Name

PAN

SIGNATURE

4. For HUF, Association of Persons (AOP), Partnership Firm, Unregistered Trust, etc., although the demat account is opened inthe name of the natural persons, the name & PAN of the HUF, Association of Persons (AOP), Partnership Firm, UnregisteredTrust, etc., should be mentioned below:

a) Name b) PAN

3. TYPE OF ACCOUNT

Body Corporate Bank FI Mutual Fund CM FII Trust

Others (Please specify)

SMS ALERT FACILITY Yes Mobile No. +91 No

Refer to Terms & Conditions given as ANNEXURE

SMS Alert Facility: (Mandatory if you are giving Power Of Attorney (POA). Ensure that the mobile number is provided in

the KYC application form.)

easi Yes. If yes, please contact your DP for details

[Facility through CDSL’s website: www.cdslindia.com wherein a BO can view his No

ISIN balances, transactions and value of the portfolio online.]

D D M M Y Y Y Y

1519

Login ID:


Please write CDSL or NSDL

MODE OF OPERATION (In case of joint holdings, all the holders/ Authorised Signatories must sign)

ANY ONE SINGLY AS PER RESOLUTION

JOINTLY BY OTHERS (PLEASE SPECIFY)

Login ID:

DECLARATION

Date

Name and Signature of Authorised Signatory(ies) [Enclose a Board Resolution for Authorised Signatories]

D D M M Y Y Y Y

Sr. No. AUTHORISED SIGNATORY NAME SIGNATURE

1.

2.

3.

4.

5.

1619

1. I/We hereby declare that the details furnished above are trueand correct to the best of my/our knowledge and belief andI/we undertake to inform you of any changes therein,immediately. In case any of the above information is found tobe false or untrue or misleading or misrepresenting, I am/weare aware that I/we may be held liable for it.

2. I/We confirm having read/been explained and understood thecontents of the document on policy and procedures of thestock broker and the tariff sheet.

3. I/We confirm having received a hard copy of the followingdocuments and further confirm having read and understoodthe contents of these documents:-

• Rights and Obligations of Stock Rights and Obligations ofStock Brokers, Sub-Brokers and Clients as prescribed bySEBI and Stock Exchanges

• Rights and Obligations of Beneficial Owner and DepositoryParticipant as prescribed by SEBI and Depositories

• Risk disclosure Document for Capital and DerivativesSegment

• Guidance Note-Do’s and Don’ts for Trading on theExchange (s) for Investors

• Policies and Procedures applicable to clients.

I/We do hereby agree to be bound by such provisions asoutlined in these documents. I/We have also been informedthat the standard set of documents has been displayed forInformation on stock broker’s designated website, if any.

I/We further understand that any change in the said documentsincluding the “Policies and Procedures” shall be madeavailable on the website of IIFL and also intimated to methrough circulars in internet trading platform/e-mails. I/Weshall keep myself updated of the same.

4. The rules and regulations of the Depository and DepositoryParticipants pertaining to an account which are in force nowhave been read by me/us and I/we have understood the sameand I/we agree to abide by and to be bound by the rules as arein force from time to time for such account. I/We herebydeclare that the details furnished are true and correct to thebest of my/our knowledge and belief and I/we undertake toinform you of any changes therein, immediately. In case any ofthe above information is found to be false or untrue ormisleading or misrepresenting, I/we am/are aware that I/wemay be held liable for it. In case non resident account, I/Wealso declare that I/We have complied and will continue tocomply with FEMAregulation.


Rs. 750/-* to be reversed against brokerage within 90 daysof account opening.

VAS Scheme (if any)

Trading Account Charges

SCHEDULE OF BROKERAGE AND OTHER CHARGES

TARIFF SHEET

Branch Offcial Name: Branch Offcial Signature:

Depository Charges

A/c Maintenance ChargesMonthly AMC Rs. 40/- + Service Tax

23

Login ID:

NOTES:

Remark :

1. Physical print copy ofdigital contractnote can be availed from the branches.2. DocumenthandlingchargeofRs.30/- shall be applicable:

• Customer who has opted for receiving documents by electronic mode: In case such customeralso intends to receive documents (contract notes and other related documents) by physicalmode.

• Customer who has opted for receiving documents by physical mode: In case such customerintends to receive additional/duplicate copies of documents (contract notes and other relateddocuments) by physical mode.Thischargemaybepartly /fullywaivedoff forhighnetworth /largecustomerat thediscretionof IIFL.

3. The above charges are exclusive of Service tax, Securities Transaction Tax, other charges andstamp duty.The same shall be charged to the Client’s account on actual basis.

4. Inter/settlement/ Beneficiary to pool transfer would be charged 0.04% (Minimum Rs. 25) per scripplus service tax.

5. Charges/ service standards are subject to revision at sole discretion of India Infoline Ltd. and asinformed by communication sent by ordinary post/ E-mail.

6. Value of the transaction will be in accordance with rates provided by Depository.

7. Statutory and other levies being charges related to the execution and/or settlement of transactionsshall be separately chargeable as in force from time to time.

8. Charges quoted above are for the services listed. Any service not quoted above will be chargedseparately.

9. Customer is required tomaintainaminimum balanceofRs.1000/- inhis/ her ledgeraccount.10. No refund of account opening charges would be given if the account could not be opened due to non

submission of complete documents by the client or due to lack of desired co-operation from theclient.

11. Management reserves the right to freeze,discontinueorsuspendany account if required.12. In case of expiry of future contracts and exercise and assignment of option, Derivatives Settlement

Charges may be levied.13. In case of buy / sell of same security during the day, the brokerage will be levied on higher side of the

transactionamount / price forboth intra-day anddelivery transactions.14. Call center service charges of Rs 20 per call for no of calls exceeding 20 in any month.15. The minimum aggregate brokerage will be Rs.25 per scrip per day for delivery trades in cash

segment, subject to regulatory caps, as applicable.16. Brokerage is also applicable on Expiry / Exercise /Assignment of Options Contract

I/ We have understood and accepted the Schedule of Charges as stated here in above.

SIGNATURE17

19


� �

**These charges are billed every month and will be debited to the ledger.*AMC of Rs 500/- will be charged on pro-data bases plus Service tax accordingly from the time ofaccount opening & from next Financial Year it will be charged Rs. 500/- flat Plus service tax.

Credit Charges NIL

Debit Charges 0.04% (Minimum Rs 25per debit transaction)

VAS SMS Facility Rs 249 per month

Other Charges

Standard charges

Pledge creation

Pledge closure

DEMAT - Per certificate

REMAT - Per certificatePer 100 Units/shares (Whichever is higher)

OR

Rejection/Failure per entry

Conversion of MF units/Destatmentisation

Reconversion of MF units in to SOA orRedemption/Restatmentisation Per SOA

Per SOA

***Postal Charges per request shall becharged separately

Rs. 50

--

Rs. 15***

Rs. 15***

Rs. 15***

Rs. 40

Rs. 15***

--

Rs. 1000/-* to be reversed against brokerage within 1 yearof account opening.


** No charges are payable for opening of demat accounts.

14

Mutual Fund Services Schedule of Charges

DP ID :Service Charges for Mutual Fund Transaction

Depository Services Charges As applicable to the DP account of the client

Annual AMC Rs. 400/- +Service Tax

BROKERAGE (CASH) STANDARD QUOTEDRATE RATE

Intra-day 0.05%

Delivery: (Normal) settlement 0.50%

Exchange Trade for Trade 0.75%and Z group scrip

Brokerage (Futures) 0.05%

Brokerage (Options) 1% of PremiumMinimum or Rs. 100/- per

lot whicheveris higher

Minimum Brokerage 0.05 per share or0.05% whichever

is higher

Broking Services

Auction Charges 1.00%

Liquid Bees

Currency Brokerage (Futures) Rs. 25 per lot

Currency Brokerage (Options) Rs. 10 per lot

This Power ofAttorney (POA) is made by the persons mentioned in the

Schedule 1 in favour of “INDIA INFOLINE LIMITED”, a company

incorporated under the provisions of the Companies Act, 1956 in India

and having its registered office at IIFL House, Sun Infotech Park, Road

No. 16V, Plot No.B-23, Thane Industrial Area, Wagle Estate, Thane -

400 604 (hereinafter referred to as ‘IIFL’, an expression deemed to

mean and include its successors and assigns) WHEREAS India

Infoline Limited is a member of the National Stock Exchange of India

Limited (“NSE”) (bearing SEBI registration nos. INB231097537,

INF231097537 & INE23109753 on the Capital Market Segment,

Futures & Options Segment and Currency Derivatives Segment

respectively), Bombay Stock Exchange Limited (“BSE”) (bearing SEBI

registration nos. INB011097533 and INF011097533 on the Cash

Market Segment and Derivatives Segment).

AND WHEREAS India Infoline Limited is a Depository Participant with

the National Securities Depository Limited (hereinafter referred to as

“NSDL”) having SEBI registration number IN-DP-NSDL- 185-2000 and

with Central Depository Services (India) Limited (CDSL) having SEBI

registration number IN-DP-CDSL-352-2006.

AND WHEREAS India Infoline Limited is registered with Association of

Mutual Funds in India (AMFI) as Mutual Fund Distributor having

Registration no.ARN47791.

AND WHEREAS I/We wish to avail / I/We am/ are a client availing of the

services offered by IIFL and has entered into necessary documents/

agreement(s) (“Client Agreements”) with IIFL for transacting in

securities with/ without On-Line trading/ E-broking & web based

facilities and/ or services through its website www.indiainfoline.com or

any other website used for offering said Services. Details of my/ our

Trading and Demat account with IIFLare provided in Schedule

1 AND WHEREAS for facilitating smooth operations of the said

services being availed from IIFL by me/ us, I/ We am/ are desirous of

appointing an attorney and confer upon it powers hereinafter stated.

NOW THESE PRESENTS WITNESS that I/ We, do hereby, jointly and

POWER OF ATTORNEY IN FAVOUR OF INDIA INFOLINE LIMITED

POWER OF ATTORNEY

Voluntary and Limited purpose POA in favour of Broker for operational requirements as per client authorization/ instruction.

To be stamped with Rs.100/- Stamp Paper

severally nominate, constitute and appoint “India Infoline Limited”

being a Stock Broker and Depository Participant registered with

Securities and Exchange Board of India (“SEBI”)acting through any of

its directors, officers and/ or agents, as my/ our true and lawful

Constituted Attorney (hereinafter referred to as the said Attorney) for

me/ us, in my/ our name and on my/ our behalf and at my/ our risk and

costs to do, exercise and perform all or any of the following acts, deeds

and things:

1. To instruct the Depository Participant, being IIFL to transfer

securities held in my/our beneficial owner/demat account as

provided in Schedule 2 or such other demat account as may be

intimated by me/us to IIFL from time to time (“client designated

demat accounts”) to such demat account of IIFL as provided in

Schedule 2 and/ or designated by IIFL and intimated to me from

time to time (“IIFL designated demat account”) towards stock

exchange related margin/ delivery obligations arising out of

trades executed by me/ us through IIFL on any Stock Exchange

in any segment including cash, derivatives and currency

derivatives segment.

2. To make application and/ or issue instruction for creation/

invocation/ closure of pledge on the securities/ units held in my/

our client designated demat accounts in favour of IIFL for the

limited purpose of meeting the margin requirements in

connection with the trades executed by me/ us through IIFL on

any Stock Exchange in any segment including cash, derivatives

and currency derivatives segment.

3. To credit my/ our client designated demat accounts with any

securities that are to be delivered to me/ us/borrowed by me/ us.

4. Generally to do all such acts, deeds, matters and things as may

be necessary for or incidental to ensure that all payments for

and delivery of securities arising out of transactions undertaken

by me/ us under the agreements are duly and properly

completed.


5. Pursuant to my/ our instruction, to make necessary applications

on my/ our behalf to any officials or authorities in India, including

but not limited to, the Central Government, and/or the Reserve

Bank Of India, Income Tax Authority, Stock Exchanges,

Securities and Exchange Board of India in connection with my/

our purchase/ sale/ transfer holding and continuing to hold

securities, and to represent me in all respects before such

authority/ies and establish without encumbrance the ownership

of securities in my name.

6. The term “Securities” shall include shares, scrips, stocks,

bonds, warrants, options, futures, derivatives, convertible

debentures, non-convertible debentures, securitized debt

instruments, fixed return investment, equity linked instruments

or other marketable Securities of a like nature in or of any

incorporated company or other body corporate, negotiable

instruments including usuance Bills of Exchange, deposits or

other money market instruments, commercial paper, certificate

of deposit, units issued by Unit Trust of India and units issued by

Mutual Funds, mortgage backed or other asset backed

Securities issued by any institution or body corporate

cumulative convertible preference shares issued by any

incorporated company and Securities issued by any

incorporated company and Securities issued by the Central

Government or a State Government for the purpose of raising

public loan and having one of the forms specified in Clause (2)

of Section 2 of the Public Debt Act, 1944, any other new form of

capital or money market instruments that may be issued in the

future by any incorporated company/firm/ institution or

Government.

7. Pursuant to my/ our instruction or instruction of my/our

Authorised Representative, to apply for various products like

Mutual Funds, Public issues of securities including debentures,

rights, offer of shares, tendering shares in open offers etc.

8. Pursuant to my/ our instruction or instruction of my/our

Authorised Representative, to acquire by subscribing to or by

purchase of securities or any other investment products and to

sell, transfer and endorse the same or redeem the same or

otherwise deal in the securities and/ or any other investment

products including but not limited to Initial Public Offerings,

Further Public Offerings, Buy Back Offers, Right Issues either

through internet using identification number issued by any

Authority from time to time or otherwise, and/ or to sign and to

execute all transfer deeds whether as transferor or transferee

and such other instruments, applications and papers as may be

necessary for acquiring or transferring/redeeming the same,

marking pledge/lien on such securities and/or for transferring

the investments in the units of Mutual Funds from one scheme

to another or between Mutual Funds and/ or otherwise as may

be required to deal in the securities or other investment

products.

9. Pursuant to my/ our instruction or instruction of my/ our

Authorised Representative, to make applications for or to

renounce and sign renunciation forms in respect of bonds/

debentures, right shares and additional shares of any

Company/ Body/ Authority and to receive and hold such rights

or additional shares bonds or debentures.

10. To issue orders and instructions for acquisitions and disposal of

investments for and on behalf of myself/ourselves and to

purchase or otherwise acquire, sell or otherwise dispose off and

invest in securities.

11. To sign the necessary forms and other documents if any and to

file the same with the company/ies and/ or Mutual Fund

concerned for purchase, sell, redemption or otherwise transfer

of such securities/ units of Mutual Funds and transferring it in

my/ our name.

12. To forward all such applications placed through the website to

the online-IPO module of the concerned Exchange or owner/

issuer of Investment Product.

13. To receive statements and other documents pertaining to the

above units/ securities and to acknowledge receipt of the same.

14. To do all such acts and things as may be necessary to effect the

subscription/ purchase/ redemption or any other transaction in

any securities and/ or Investment Product for which services

are availed from IIFL.

15. To debit the purchase price of such securities or any other fees/

charges etc. due to IIFL and to discharge all obligation in this

regard on my/ our behalf to IIFL, in my account with India

Infoline Ltd.

16. To operate and to give delivery/ receive instructions, borrowing

and lending instructions, pledge instructions, pledge closure

instructions and to do all such other things that may be

necessary in the course of business relating to operation of

client designated demat account(s) or towards the obligation for

transactions done through IIFL on NSE, BSE and any other

Exchange, under my/our instructions.

17. To execute the share transfer requests given by me/us through

the website or any other medium and process the documents

authenticated by authorized signatories empowered to do so in

this regard.

18. To square off at its discretion my/ our position of transactions

that are not delivery marked during the day.

19. To demand, receive and give good and effectual receipt(s) and

discharge(s) for all or any dividends, interest, bonuses or any


other sum(s) and/ or income arising from the shares,

debentures, units and other investments and to sign and

endorse pay orders, dividend/ interest warrants or certificates,

receive all debts, sums of money, principal, interest, dividend or

other dues of whatever nature or account which are now or at

any time due and payable and belong to me/us.

20. For the purpose of the aforesaid to sign contracts, agreements,

transfers, acceptances, receipts, or other instruments,

documents and forms, to accept and carry out correspondence

with such person(s) or authority/authorities or department(s)

and to do all such lawful acts requisite for effecting the same.

21. To correspond with and give notice to the corresponding Asset

Management Company/ Body Corporate/ Registrar & Transfer

Agent of securities including but not limited to giving instructions

with regard to nomination/change in investment plans/any other

changes that may be necessitated/ instructed by me/ us.

22. To comply and/ or cause to be complied with all statutory and

other requirements attached to or arising out of these premises

and for these purpose to take such steps and actions necessary

or proper, including signing of affidavits, indemnity,

declarations, legal documents, deeds and writings required.

23. To send consolidated summary of my/ our scrip wise buy and

sell positions taken with average rates by way of SMS/ e-mail at

my/ our registered mobile no./ email id as provided by me/ us

through contract note or any other intimation, on a daily basis,

notwithstanding any other document to be disseminated as

specified by SEBI from time to time.

24. To arrange to return to me/ us the securities that may have been

received by IIFL erroneously or those securities that IIFL is not

entitled to receive from me/ us.

25. For all or any of the purpose aforesaid to appoint from time to

time a representative and to revoke such representation but so

that the appointment of any suchrepresentative shall not affect

or prejudice the rights or powers of the Attorney to act

hereunder and the Attorney may continue to do so

notwithstanding such appointments.

26. To do or omit to do all such acts and things as IIFL may in its

discretion consider to be necessary or desirable in order to

exercise its powers hereunder or to comply with any laws,

orders, rules, regulations or directions of any government or

regulatory or other authorities.

27. My/ Our Attorney IIFL shall not be liable for any loss that may

result from failure/ inability of electronic connectivity or rejection

of my/ our application for any reason whatsoever.

28. My/ our Attorney IIFL shall not be liable for any transaction

processed on the basis of information provided by IIFL to the

issuers/ owners of securities or investment products in the

applications or otherwise based on the information provided by

me/ us.

AND I/ We hereby agree that IIFL shall exercise such powers and

authorities conferred under the above Power of Attorney only pursuant

to the instructions in that behalf given by me/ us or my/ our Authorised

Representative, which may be given orally, over the telephone,

through the internet, electronically or in any other manner acceptable

to IIFL and such instructions shall be deemed to have been given by

me/ us and shall not be questioned by me/ us and shall be conclusive

and binding on me/ us.

My/ Our “Authorised Representative” for the purpose this Power of

Attorney shall mean Mr. __________________________________,

or such other person appointed by me/ us and intimated by me/ us in

writing to theAttorney from time to time.

AND I/ We hereby agree that all such acts done by my/ our above

mentioned attorney shall be deemed to be acts done by me/ us and if

necessary shall be ratified by me/ us on the instructions of the said

attorney.

AND I/ WE DO HEREBY CONFIRM AND DECLARE THAT this Power

of Attorney shall be valid, effective and operative and shall remain in

force till the termination of the Member -Client Agreement and/ or any

other agreement(s) that I/ We have entered into with IIFL.

I/ We may revoke this Power of Attorney at any time by giving a notice

to IIFL in writing and the cessation of this authority shall not affect or

impair any act thereto done in exercise of these presents.

Such notice shall be duly signed by me/ us and should be received at :

IIFL House, Sun Infotech Park, Road No. 16V, Plot No.B-23, Thane

IndustrialArea, Wagle Estate, Thane - 400 604 I/ We hereby undertake

to ensure that prior to the revocation of this power of attorney all

amounts of debit balances including penalties and other charges &

expenses till the date of revocation due to the Attorney as per its

records are paid/ cleared in full.

This document shall be subject to the jurisdiction of the Courts in

.

MADE and executed at on this ________________day

of ____________________20_________

____________

___________


Login ID:

SCHEDULE 1

Name Age Address

Authorised Signatory

(Trading Account Client)



Trading Account No./ Client ID

Demat Account No.

SCHEDULE 2

Client Designated Demat Account Nos.:

We hereby agree to exercise the powers conferred upon us in terms of the clauses mentioned hereinabove.

For India Infoline Limited


Date:

Signed and Delivered by


CLIENT’S WITNESS FOR POWER OF ATTORNEY (for and on behalf of the Client)

Witness 1 Witness 2

Name Name

Address Address

Signature Signature

IIFL Designated Demat Account Nos:

DP Name: INDIA INFOLINE LIMITED

DPID: 12044700 (CDSL) DPID: IN302269 (NSDL)

1204470000000044 IN30226912180091

12044700 IN30226900000063 12144461

12044700 IN30226900000078 10000005

12044700 IN30226900000103 10000013

1819

33

IN WITNESS WHEREOF I/We have hereunto set and subscribed my/our respective hands to these presents the day and the year hereinabove written


Login ID:

(This document is Mandatory in case of HUF account executing Power of Attorney)

NO OBJECTION CERTIFICATE/POWER OF ATTORNEY[HUF DEMAT/ TRADING ACCOUNT]

BO ACCOUNT DETAILS:

DP ID: Client ID: Login ID:

NameoftheKarta

Signature & Stamp of Karta alongwith stamp of HUF:

Place :

Date :

To,INDIA INFOLINE LTD.

Sub: Declaration of Coparcener(s)

Mumbai

Dear Sir/ Madam,

I/We hereby declare that I/we are coparcenars of the HUF _____________________________ with as“Karta”. I/We have opened Trading and/or Demat account with you under HUF category.I/We hereby declare that I/We am/are authorizing thesaid Karta to execute the transactions and to do all such needful acts/deeds in our Demat/Trading account. I/We further authorize the Karta toappoint any other attorney and authorize him/her/it to act on behalf of the HUF and Coparcener(s) with regard to the operations of the saidDemat/Trading account. The details of our account are given below:

______________________________

LIST OF CO-PARCENERS:

Sr.No.

Name Sex [M/F] Signature

1.

2.

3.

4.

5.

6.

Relationshipwith Karta

Date of Birth

I/We hereby state that the details mentioned as above are true and any change in them would be intimated to you in writing.


CDSL DP ID: 12044700 OR NSDL DP ID: IN302269

PAN No.

AUTHORIZATION LETTER

To, Date: _____/_____/________

IIFLHouse, Sun Infotech Park,

Road No. 16V, Plot No. B-23,

Thane IndustrialArea, Wagle Estate, Thane - 400 604

Sir,

I/We am/are interested in availing the trading facility of the Exchanges for the purpose of transacting in the units of Mutual Funds Schemespermitted to be dealt with on the MFSS and BSE StAR MUTUALFUND of NSE and BSE respectively. I/We therefore request you toregister me/us as your client for participating in the Mutual fund transaction facilities (MFSS and BSE StAR MUTUALFUND). I/We arewilling to abide by the terms and conditions as mentioned in the NSE Circular dated 24/11/09, BSE Circular dated 02/12/2009 and furthercirculars as may be specified by the Exchanges from time to time in this regard. I/We shall also ensure compliance with the requirementsas may be specified from time to time by Securities and Exchange Board of India andAssociation of Mutual Funds of India (AMFI). For thesaid purpose of availing these facilities, I/We state that Know Your Client details as submitted by me/us for the stock broking may beconsidered for the purpose of Mutual fund transaction facilities and I/We further confirm that the details contained in same remainunchanged as on date. I/We shall read and understand the contents of the Scheme Information Document and Key InformationMemorandum, addenda issued regarding each Mutual Fund Schemes with respect to which I/We choose to subscribe/redeem. I/Wefurther agree to abide by the terms and conditions, rules and regulations of the Mutual Fund Schemes. With reference to my application forregistering as a client for Mutual Fund Transaction facilities offered by NSE and BSE, I/We hereby undertake to provide funds to theParticipant equivalent to the subscription amount and applicable brokerage/ fees/ charges before applying for mutual fund units throughthe Participant. For this purpose, I/We hereby authorize India Infoline Limited to utilize the surplus funds in my/our Broking account heldwith India Infoline Limited in its capacity as a Stock Broker and transfer funds to the extent of subscription amount and/or applicablebrokerage, fees, charges and other statutory levies (in case of both subscription and redemption) and/or any other obligation to meet thedebit in my/ our Mutual fund transaction account. My/our exposure limits in my trading account shall be reduced to the extent of the amountutilized for transacting in the mutual fund units as per my instruction. In case of subscription request, I/We hereby understand and agreethat based on my instruction, the amount will be debited in my Mutual fund transaction account and surplus funds shall be transferred frommy Broking account to my mutual fund transaction account as per this authority letter. I/We further agree and understand that such fundswill be used by the Participant for applying for mutual fund units after deducting the applicable brokerage, fees, charges and otherstatutory levies. I/We agree and undertake to make good such shortfall immediately as may be informed by India Infoline Limited from timeto time. In case of a redemption request, I/We agree and authorise India Infoline Limited to debit my mutual fund transaction account to theextent of applicable brokerage, fees, charges and other statutory levies and further authorize to utilize the surplus funds in my/our Brokingaccount held with India Infoline Limited in its capacity as a Stock Broker and transfer funds to the extent of applicable brokerage, fees,charges and other statutory levies (in case of both subscription and redemption) and/or any other obligation to meet the debit in my/ourMutual fund transaction account.

I/We hereby authorize IIFL to execute an order in my/our account held with IIFL for purchase of the securities and/or mutual fund unitsunder systematic investment plan on my/ our behalf as per my/our instructions.

I/We further agree and understand that all the terms and conditions of the trading agreement/terms and condition entered into/agreed withIIFL shall be also applicable to the instructions for systematic investment in mutual fund units / securities and I/We hereby agree to abideby the same at all times.

I/We understand that the instructions for systematic investment can be given by me in writing or through the online facility provided by IIFLor over recorded telephone line. I/We hereby agree and understand that the said instructions shall be valid and binding upon me/us untilmodified and/or cancelled by me/us by giving valid instruction to IIFLeither in writing or through the online facility provided by IIFL.

I/We hereby undertake to give an ECS mandate/ standing instruction in favor of IIFL towards my/our trade obligations arising out of thisauthorization or I/we hereby authorize IIFL to execute order under SIP on the basis of clear fund available in my ledger account and as perrisk management policy.

I/We hereby authorize IIFL to debit my/our trading account held with IIFL towards my/our trade obligations and all the fees, charges, taxes,brokerage etc due and payable by me/us.


A. Availing Mutual Fund Service System (MFSS) facility/ BSE StAR MUTUAL FUND (hereinafter jointly referred to “Mutual FundTransaction Facilities”) Yes No

B. Authorization for Systematic Investment in Mutual Fund / Securities Yes No


21

I/We understand that this authorization can be revoked by me/us at any time by giving a written notice atleast 30 days in advance to IIFL.I/We understand that such revocation shall be effective from the date of receipt of confirmation of the same from IIFL. I/We agree andundertake to fulfill all my/our obligations as per the instructions for systematic investment arising in my/ our account before the effectivedate of such revocation.

I/We agree to abide by the Terms and Conditions applicable for Systematic Investment in Mutual Fund and/or Securities and anyamendments thereto at all times.

I/We undertake to indemnify and keep indemnified IIFL and its directors / officers for all trades executed on my / our behalf as per theinstructions given by me/us.

Authorisation to India Infoline Limited a) I would like to keep securities purchased by me with you as collateral for giving me exposure limitsin my trading account/margin obligation. I authorize you not to transfer shares/securities purchased by me to my demat beneficiaryaccount and keep them with yourselves. I also authorise you to pledge these shares/ securities with the Clearing Member/Exchange/Custodian, at your discretion. In case any of the shares/securities are sold in subsequent settlements, you may take this as astanding instruction to adjust against my previous purchase positions in any of Exchanges. b) Whenever I require delivery of anyshares/securities, I shall send you a written request. I understand that such payout of securities will be made subject to your riskmanagement policies. c) In case there is a debit balance in my account, you are authorized to sell at any point of time the shares/ securitiesheld by me/ held on my behalf, at your sole discretion. Any profit or loss made on such transactions will be to my account as it would haveoccurred on normal purchase/sale made by me. I also agree to pay the balance amount, if any after deducting credit of sale of shares. d) Ialso request you not to issue cheques /make payments settlement wise unless specifically demanded by me, as payin and payout arevery close and therefore exchange of cheque becomes unnecessary paper work. e) I/We understand and agree that no interest will bepayable to me/us on the amounts or securities so retained with you. f) I further authorise you to set off/ adjust any of my debits/dues in anysegment of any Exchange with credits of any other segment(s) of any Exchange(s) in my account within the period of settlement of myaccount (Securities and Funds) as opted by me. g)The Securities lying in client beneficiary account on my/our behalf and/or creditbalances lying in my/our ledger account of any segments of any Exchanges can be considered as margin for the any segments of anyExchanges. h) I/We understand that this authorization shall remain valid until revoked by me/us. I/we undertake to clear all my duesarising during the validity of this authorization else the member shall recover all my/our dues in my/our ledger till date. I also undertake toclear all my dues to you before serving revocation of this authorisation else the member will recover all my dues in my ledger till date andthen effect the revocation. i) I /We further wish to have settlement of my account (funds and securities):- (Tick any one option):-

Once in Quarter Once in Month

I /We understand that settlement amount shall be subject to retention of requisite securities/ funds towards outstanding obligations andmargins in my account calculated in the manner specified by SEBI/ Exchange and details mentioned in the “Statement of Account” at thetime of settlement. I /We authorise you to send the statement of account on funds and securities as on the date of settlement to my internettrading account or e-mail id registered with you. I /We understand that I /We can obtain a copy of the same from any of your Branch offices.I /We understand and authorize that you will not release the payout in case the balance after necessary retention is upto Rs.10000/- in anyof the quarters, till my revocation in writing as I /We will be doing regularly trading with you. I also undertake to bring any dispute arisingfrom Statement of accounts or settlement so made to your notice within seven working days from the date of receipt of funds/securities orStatement as the case may be. So kindly maintain my account as a running account basis for funds and securities.

I/We hereby consent to receive from India Infoline Limited the digital contract notes, bills, ledgers, transaction statements, dematstatement of accounts/ holding statement(s)/bills/other statements, notices, circulars, amendments and such other correspondencedocuments, records by whatever name called in electronic form duly authenticated by means of a digital signature as specified in theInformation Technology Act 2000 and the rules made thereunder to my below mentioned email id (said email id). E-mail Id :_________________________________I/We further hereby agree that the India Infoline Ltd. shall fulfill the legal obligation, if the abovedocuments are sent electronically to the said e-mail id and I/We am/are aware that I/we will not receive the statements / documents inpaper form. In this regard, I/we further confirm and agree that:

(i) The above is my/ our personal E-mail id. I/ We shall take all necessary steps to ensure confidentiality and the secrecy of the login andpassword of the abovementioned e-mail account. IIFL shall not be liable to or responsible for any breach of secrecy. I/We am/areaware that the statements/ documents may be accessed by other entities in case the confidentiality/secrecy of the login name andpassword is compromised. I/We will be solely responsible for the security of the information provided on my/ our aforesaid e-mail id.

C. RUNNINGACCOUNTAUTHORISATION Yes No

D. AUTHORISATION FOR RECEIPT OF CONTRACT NOTESAND OTHER DOCUMENTS IN DIGITAL MODE Yes No


(ii) E-mails sent to any of the above mentioned e-mail account, which have not bounced back, shall be deemed to be duly delivered tothe me/us.

(iii) IIFL shall not take cognizance of out-of -office/ out ofstation auto replies and I/We shall be deemed to have received such electronicmails.

(iv) Such Statements shall be deemed to have been delivered on the day when the e-mail is sent by IIFL.

(v) I/We further agree that IIFLmay at its sole discretion also provide / discontinue such statements in physical form. (vi) IIFL shall not beliable or responsible for any Statement received from frauds or impostors or any consequences thereof.

(vii) IIFL shall not be liable for any problem, which arises at my/our computer network because of my/our receiving any Statement fromIIFL.

(viii) I/We shall inform IIFLby way of a letter in writing duly signed by me or inform through internet platform if there is any change in theEmail given above.

(ix) I/We undertake to check the Statement and bring the discrepancies to your notice within the time period as specified under therelevant agreements entered into with IIFL. My/Our non-verification or not accessing the Statement on regular basis shall not be areason for disputing the same at any time.

(x) I/We shall inform in writing in prescribed format to IIFL to discontinue the said facilities. I/We and IIFL shall have the right to terminatesuch service provided a written notice is given atleast 10 days in advance to the other party.

I/We shall immediately inform IIFL about change in email address, if any. I/We further agree that IIFL will not be responsible for nonreceiptof documents sent via electronic delivery due to change in/incorrect email address/correspondence address as mentioned or any otherreason which inter alia include technical reasons or malfunction of my/our computer system/server/internet connection etc. Further I/Weagree and undertake to indemnify IIFL and its group companies, that they will not be held liable/ responsible for any losses, claimsdamages, cost and liabilities etc. caused to me/us due to misuse of this information or pursuant to any litigation cases, complaints, actions,etc that may arise in future on account of my/ our above authorization request.

I wish to use online Trading Software in this regards Following:-

I. Please send my system-generated, internet account first time as well as subsequent, password on the above mobile numbers. Also,if I ever need to reset the Password later, the same should also be sent by SMS on the above given mobile number. As soon as Ireceive the systemgenerated Password, I shall login and change it for security reasons. I am aware that system-generatedPassword will automatically expire in 72 hours from the time of sending.

II. In the event that I do not receive the Password on SMS within 24 hours of opening of account or request for reset of Password, I shallcontact the Customer Service Department of the IIFL immediately and request for re-setting of my Password.

III. I have been explained that I shall set my new Password as may be easy to remember for me, but should not be easy to decipher foranybody else and should be preferably alpha-numeric and not my or any family member's name/ surname.

IV. I am fully aware of the risk of electronic loss/ theft and agree to be solely liable and responsible for the same as well as for anyunauthorized use/ misuse of the Password. I understand IIFLwill not be responsible or liable in any manner whatsoever for the same.

i. I am aware that the mobile number shall be updated in all your records and databases including trading and demat account.

ii. I declare that the above is my personal mobile number and is always in my safe custody. I shall keep IIFL informed of any change inmy mobile number immediately for updating the same in databases. I am aware that without intimation for change in mobile number,IIFLwould not be able to send my Password over new mobile number and also would not be able to update in records and databases.

E. AUTHORISATION FOR ONLINE TRADING SOFTWARE PASSWORD Yes No

DECLARATION


iii. I am aware that in case of change in my mobile number anytime after opening of this account, it is mandatory for me to submit thephotocopy of a latest/last two months Mobile bill for postpaid connection. If I have prepaid connection then I have to visit personally tothe Branch/FANs alongwith my ID proofs (E.g.: Pan Card or Driving License) and get the documents verified by the branch officials.

iv. I will be solely responsible for the security of the information provided on my aforesaid mobile number. Further, I agree and undertaketo indemnify IIFLand its group companies, that they will not be held liable/responsible for any losses, claims, damages, cost andliabilities etc. caused to me due to misuse of this information or pursuant to any litigations, non-litigation cases, complaints, actions,etc. that may arise in future on account of my above authorization request.

v. I/We confirm having received a hard copy of the following documents and further confirm having read and understood the contents ofthese documents.

SMS Alerts Facility by depository : I/ We consent to CDSL / NSDL providing to the service provider such information pertaining toaccount/ transactions in my/ our account as is necessary for the purposes of generating SMS Alerts by service provider, to be sent tothe said mobile number. I/We have read and understood the terms and conditions mentioned above and agree to abide by them andany amendments thereto made by the depository from time to time. I/ We further undertake to pay fee/ charges as may be levied bythe depository from time to time. I/ We further understand that the SMS alerts would be sent for a maximum four ISINs at a time. Ifmore than four debits take place, the BOs would be required to take up the matter with their DP.

Terms & Conditions For Distribution of Securities.

Terms and Conditions for availing Mutual Fund Service System (MFSS) facility and BSE StAR MUTUALFUND offered by NSE andBSE respectively.

Terms and Condition for availing systematic investment in Mutual fund/Securities

•

•

•

•

23

SIGNATURE19

19


� �


FORM

AT

(SPECIMEN COPY OF THE BOARD RESOLUTION) (To be provided by the Corporate clients on the letterhead)

CERTIFIED TRUE COPY OF A RESOLUTION PASSED BY THE BOARD OF DIRECTORS OF THE COMPANY AT THEIR MEETING HELD ON ___________,2_________ AT THEREGISTERED OFFICE OF THE COMPANY


Signed in my presence and attested(Name of Branch Manager)Signature of Branch Manager(Sign under bank stamp)MICR code of Branch

FORMAT FOR BANK VERIFICATION LETTER

Sr. No. Name Designation Specimen Signature

1.

2.

3.

“RESOLVED THAT the Company be and is hereby authorised to open a Demat account with India Infoline Limited (“IIFL”), Member of Bombay Stock Exchange Limited (BSE), National Stock Exchange of India Limited (NSE),and Depository Participant of National Securities Depository Limited (NSDL) and Central Depository Services (India) Limited (CDSL) for purpose of dealing in Securities in Capital/Cash, Derivatives/F&O, Debt & CurrencyDerivative segment and the said Member be and is hereby authorized to honor instructions oral or written, given on behalf of the Company by any of the following authorized signatories:

RESOLVED FURTHER THAT the abovementioned officials are authorized to sell, purchase, transfer, endorse, negotiate and / or otherwise deal in securities through India Infoline Limited on behalf of the Company.

RESOLVED FURTHER THAT the abovementioned officials be and are hereby authorized to jointly / severally sign, execute and submit such applications undertaking, agreements DP instructions and other requisitedocuments, writings and deeds as may be deemed necessary or expedient to open and account and give effect to this resolution.”

RESOLVED FURTHER THAT all the abovementioned officials would have authority to act on behalf of the Company and their actions will be binding on the Company.”

RESOLVED FURTHER THAT the Common Seal of the Company be affixed, wherever necessary as per the applicable provisions of the Articles of Association of the Company, in the presence of any of the Directors of theCompany who shall sign the same in token of their presence,”

For _____________________________________________________

Managing Director/ Company Secretary

To,

Mumbai.

Dear Sir,

This is to certify that ______________________________ (name of the client) resident of ______________________________________________________________________________________________________ ( fu l l add ress ) , i s ho ld ing a sav ings / cu r ren t bank accoun t no ._________________________________________with our______________________________branch since_____________________The signature and photograph of the account holder as per the specimen recorded with us is being attested below.

INDIA INFOLINE LTD.

To,


IIFLHouse, Sun Infotech Park,

Road No. 16V, Plot No. B-23,

Thane IndustrialArea, Wagle Estate,

Thane - 400 604.

Dear Sir/Madam,

1. I / We, have submitted an application for opening a single / joint account for opening a Beneficial Owner [BO] account in the category “individual’ for holding and carrying out transactions in respect of securities belonging toour firm, since as per the clarification issued by the Department of CompanyAffairs vide its Circular No. 5/75 (8/18/75-CL-V) dated March 31, 1975, Partnership Firm is not capable of being a member within the meaning ofSection 41 of The CompaniesAct, 1956.

2. I / we represent the firm.

3. In consideration of you having agreed to accept the Permanent Account Number [PAN] issued by the Income Tax Department [ITD] to the firm along with our individual identity documents, I / We acknowledge andundertake as under :-

a) The acceptance of the PAN number of our firm does not amount to you having taken notice of trust or recognize our firm.

b) I / We shall continue to be responsible for complying with the relevant provisions of The Companies Act, 1956 and the Rules made thereunder and other applicable Laws failing which I / we shall be responsible for theconsequences thereof.

Put Bank stampacross photograph

FORMAT OF DECLARATION TO BE GIVEN BY PARTNERS ON LETTERHEAD OF THE FIRM

NAME OF PARTNERS* (IN BLOCK LETTERS) SIGNATURES*

*(to be signed by all the partners of the firm under stamp of the firm)


FORMAT

FORMAT OF DECLARATION OF BENEFICIAL OWNERS(REQUIRED AS PER SEBI CIRCULAR NO. CIR/MIRSD/2/2013 DATED JANUARY 24, 2013) (TO BE PRINTED ON LETTER HEAD)

I. For clients other than Individual and trust

% of Ownership

1.

2.

3.

4.

5.

B - Control over the juridical person through other means (Refer Note 2) (Applicable where no natural person exerts control as per A above

C - Name of the natural person holding position of Senior Managing Offcial (Applicable where no natural person is idendifed in A & B above)

II. For clients which is Trust

Sr. No. Name of the natural person Details of control through voting rights, agreement,arrangements or in any other manner

1.

2.

3.

4.

5.

Sr. No. Name of the natural person Position/ designation of Senior Managing offcial

1.

2.

3.

4.

5.

Name of Trust

Trustee

Protector

The benefciaries with 15% or more interest in the trust

Name(s) of any other natural person exercising ultimateeffective control over the trust through a chain of control or ownership

1.

1.

1.

1.

2.

2.

2.

2.

3.

3.

3.

3.

For (Name of the client)

SIGNATURE

Name DesignationDate:

Place:

NOTES:1) Controllingownershipinterestthroughcapital&profts: List of the natural person, who, whether acting alone or together, or through one or more juridical

person, exercises control through ownership or who ultimately has a controlling ownership interest.

Sr. No. Where the juridical person is Ownership of/entitlement to

1 A company More than 25% shares or capital or profts

2 A partnership More than 15% capital or profts

3 An unincorporated association or body of individuals More than 15% of the property or capital or profts

2) Control over the juridical person through other means: where there exists doubt under clause IA above as to whether the person with the controlling ownershipinterest is the benefcial owner or where no natural person exerts control through ownership, provide list of natural person exercising control through other means i.e.through voting rights, agreement, arrangements or in any other manner.

Note: Kindly submit shareholding / ownership details in case 25% / 15% as mentioned above is held by Juridical person till benefcial owner is satisfactorily identifed

A - Controlling ownership interest through capital & profts (Refer Note 1)


Date:

Client ID: Login ID:

SUB BROKER/ AUTHORISED PERSONs DETAILS

Sub broker’s / Authorised Person’s Code :

Sub broker’s / Authorised Person’s Name :

Sub broker’s / Authorised Person’s Address :

Pincode :

Sub Broker/ Authorised Person’s Signature : Client’s Signature :

FORM CHECKED BY

Name of Sub Broker/ Authorised Person :

Signature : Date :

Branch Address :

Pincode :

Name of the Employee of HO :

Employee Code :

Signature :

OTHER INFORMATION ABOUT IIFL

LIST OF DESIGNATED BANKS

1. HDFC BANK 2. ICICI BANK 3. AXIS BANK

4. CITIBANK N.A 5. BANK OF BARODA 6. YES BANK

LIST OF DESIGNATED DEPOSITORY PARTICIPANTS

1. INDIA INFOLINE LTD.

NOTE: IIFL reserves the right to make any modifcations

in the above lists.

DISCLOSURE OF PROPRIETARY TRADING BY BROKER

TO CLIENT:

ONLY FOR THE ACCOUNTS SOURCED BY SUB BROKERS/ AUTHORISED PERSONS

We refer to circular no. SEBI / MRD / SE / Cir.42 / 2003 dated19/11/2003 issued by Securities and Exchange Board of India inconnection with the above and in terms of the said circular wedisclose that we have undertaken proprietary trading, arbitrage aswell as investment business on our account in addition to Clientbased business.


India Infoline Ltd., IIFL House, Sun Infotech Park, Road No. 16V, Plot No. B-23, MIDC, Thane Industrial Area, Wagle Estate, Thane - 400 604Tel: (91-22) 3929 4000/ 4103 5000 • Fax: (91-22) 2580 6654

Member: BSE, NSE & MCX-SX (Cash, F&O & Currency Derivatives) SEBI Regn. No: BSE (Cash) INB 011097533, BSE (F&O) INF 011097533, NSE (Cash) INB 231097537,NSE (F&O) INF 231097537, NSE (CDS) INE 231097537, MCX-SX (CASH) INB261097530, MCX-SX (F&O) INF261097530, MCX-SX (CDS) - INE261097537,

USESEBI Registration (Currency Derivatives) INE 271097532, Portfolio Management Service INP 000002213, Merchant Banking INM 000010940,Depository: CDSL SEBI Registration No: IN DP CDSL 352 2006 (DP ID: 12044700); NSDL SEBI Registration No: IN DP NSDL 185 2000 (DP ID: IN302269)

For Branches and Locations of India Infoline Limited please visit our

website: www.indiainfoline.com
